Thomas Ferrante
Professional summary
Thomas Ferrante is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 4 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Ferrante's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017July 6, 2017 - August 27, 2025
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
February 7, 2013 - August 25, 2014
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
April 30, 2012 - June 1, 2012
APEX CLEARING CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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